Regulatory Compliance & Monitoring Manager/AVP, Corporate Bank (BB-0922B)

Found in: Neuvoo Bulk HK


Regulatory Compliance & Monitoring Manager/AVP, Corporate Bank

  • Regulatory/Overseas Branches Monitoring/Projects 

Our Client

Longest established HK incorporated bank offering comprehensive treasury, corporate banking, trade finance and wealth management solutions with over 45 branches across Greater China, Europe and US. Hiring over 1800+ employees and with net interest income of over HKD 3,500 million+ in Dec 2018.

Job Duties

  • Report to the Group Head of Compliance and Pair up with AML, Overseas Branches Compliance, Regulatory and Project Teams 
  • Assume hybrid functions from AML advisory (EDD/STR); overseas monitoring to managing global compliance related projects
  • Consult and provide global compliance advisory to line of business and local compliance team 
  • Drive/Review various compliance related projects such as FATCA, CRS and Volcker Rule etc from enhancing existing workflow to cater for the continuous changes of regulatory requirements and corporate governance


  • Degree holder in Finance, Accounting, Risk Management, Law or related disciplines
  • 6 years+/- of Regulatory Compliance and Overseas Branches monitoring experience 
  • Well verse in Hong Kong banking regulatory requirements and understanding of China banking operations is highly desirable
  • Good knowledge of China regulatory regime is essential
  • Proven track record in liaising/dealing with local and overseas regulators is preferred
  • Responsible, detailed-mind and good analytical skills
  • Seasoned stakeholder management and communication skill is critical
  • Provide AML advisory; Testing and Compliance Monitoring to Regulatory Reporting across capital market, corporate banking & private banking businesses
  • Assume 2nd line of defense to ensure the fulfilment of HKMA/SFC regulatory requirements and corporate governance as well as to maintain the AML policy and procedure
  • Conduct gap analysis/procedural review to cater for the continuous changes of regulatory requirements/new business initiatives/AML program implementation etc. 
  • Report to North Asia Head of Compliance and work in partnership with a professional team of 10
  • Accountable for managing & overseeing the regulatory compliance aspects of the HK North Asia Branch
  • Assume the business compliance advisory role to ensure daily business activities fulfils the regulatory and corporate governance
  • Excellent Worklife Balance & Job Security
  • Compliance Functional for Surveillance/Regulatory/AML
Job Duties
  • Ensure the daily activities of HK Branch adhere to fulfilment of regulatory requirements including HKMA and corporate governance
  • Oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting by working with internal stakeholders across front of back offices and senior management
  • Provide value added consultancy from identifying control weaknesses/enhancement of framework through engaging periodic reviews related to investment suitability, AML, cross border review, sales process, personal account dealing, outside business interest, complaints, business activities/processes
  • Corporate Secretarial/Paralegal Experience
  • Int’l Environment & Worklife Balance
Job Duties
  • As part of the regional team, you’ll be working closely with professional lawyers & counselors to manage the corporate secretarial functions across the AP region
  • Draft company secretarial document and maintain accurate statutory books/registration/filing across 6 multiple jurisdictions
  • Facilitate any company restructuring/M&A
  • Provide comprehensive legal support to fund registration
  • Conduct legal research and facilitate timely submission of regulatory returns
  • calendar_today2 days ago

Similar jobs

location_onHong Kong

work JobLeads

I expressly authorise the Terms and Conditions